Mutual Fund Regulation

Release #8 is now available for Mutual Fund Regulation.

Mutual funds are one of today’s most strictly regulated financial products, subject to a variety of duties, obligations, restrictions, and prohibitions under major federal legislation, SEC rules, and court rulings.

This treatise provides you with the comprehensive and current coverage that enables you to comply more cost-effectively with these standards. Mutual Fund Regulation helps you to establish effective compliance policies and procedures that make your regulatory burdens easier to fulfill; meet onerous prospectus disclosure and delivery requirements more easily; draft the full range of relevant documents; satisfy rules for mutual fund marketing materials, including online standards; and qualify for statutory ”safe harbors” that free you from certain regulatory demands.

If your library is on standing order for this treatise, you can expect Release #8 to arrive soon.  If you’d like to order the release please email libraryrelations@pli.edu or call 877-900-5291. 

View a sample chapter here.

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